Tag: SFC
Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky...
Hong Kong SFC Fines Swiss-Asia Asset Mgmt $382,000 for 225 Risky Options Trade over 15 Months, Breached Client Discretionary Account Trade Parameters for Options
8th...
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi...
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi for 10 Months for Violating Staff Dealing Policy, No Approval to Setup Personal...
Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt...
Hong Kong SFC Reprimands Hedge Fund Gold Dragon Worldwide Asset Mgmt for Breaching Takeovers & Mergers Code, Failed to Disclose 53 Trades & Controlled...
Hong Kong Court Dismisses Defendants Application to Cancel HK SFC Freezing...
Hong Kong Court Dismisses Defendants Application to Cancel HK SFC Freezing of Assets in Trading Accounts for Involvement in Ramp & Dump Scheme
29th September 2022...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying...
Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying Asset Management Business without License, Pleaded Not Guilty with Pre-Trial Review Set on...
China Expands Stock Connect: Mainland Investors can Trade Foreign Companies Listed...
China Expands Stock Connect: Mainland Investors can Trade Foreign Companies Listed on Hong Kong Exchange via Southbound Trading, Opens Shanghai & Shenzhen Stock Exchanges...
Hong Kong SFC Suspends Managing Director of Rifa Futures for 8...
Hong Kong SFC Suspends Managing Director of Rifa Futures for 8 Months for Breaching KYC & Anti-Money-Laundering, Fined $1.14 Million in July
8th September 2022...
Hong Kong SFC Fines IPO Sponsor TC Capital $382,000 & Suspends...
Hong Kong SFC Fines IPO Sponsor TC Capital $382,000 & Suspends Chairman Edward Wu License for 7 Months for Due Diligence Failure in China...
Hong Kong SFC Fines KTF Capital $50,000 for Failure to Report...
Hong Kong SFC Fines KTF Capital $50,000 for Failure to Report Insufficient Capital Requirement of $360,000, $2.5 Million Deficit from Failure to Anticipate Adverse...
Hong Kong SFC Fines Brokerage Firm Rifa Futures $1.14 Million for...
Hong Kong SFC Fines Brokerage Firm Rifa Futures $1.14 Million for Failures in KYC & Money-Laundering, 310 Clients including Mainland China Investors Trade Through...
